CRD #2666 · FINRA BrokerCheck + SEC IAPD

Carl Marks & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carl Marks & Co., Inc. ranks #7,420 of 20,055 by disclosure count (most disclosures first). Carl Marks & Co., Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
0
branch offices
0
disclosures
#7,420 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2666 Carl Marks & Co., Inc.

Carl Marks & Co., Inc. · Grade A · 0 disc · 0.00/office · Single-office firm

  • CRD 2666
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #7,420 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)

1-800 NO Loads, Inc.0.001031 Exchange Place, Inc.0.0010X Securities0.00Carl Marks & Co., Inc. (this)0.00
Disclosures per office among single-office firm peers (lower is cleaner)

Carl Marks & Co., Inc. ranks #7,420 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

- per office

footprint not reported

Clean disclosure surface

Carl Marks & Co., Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
12/21/1925
State of Formation
New York
CRD Number
2666
SEC Number
2048

Clean BrokerCheck surface

Carl Marks & Co., Inc.'s clean BrokerCheck surface

Carl Marks & Co., Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).

Carl Marks & Co., Inc. shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Carl Marks & Co., Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Carl Marks & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carl Marks & Co., Inc. ranks #7,420 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Carl Marks & Co., Inc.?
A grade of A means Carl Marks & Co., Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Carl Marks & Co., Inc. have?
Carl Marks & Co., Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Carl Marks & Co., Inc.?
Carl Marks & Co., Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Carl Marks & Co., Inc.'s disciplinary record?
You can verify Carl Marks & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2666. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Carl Marks & Co., Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Read with this firm

  • 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Carl Marks & Co., Inc.'s 0.00
  • 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Carl Marks & Co., Inc.'s 0.00
  • 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Carl Marks & Co., Inc.'s 0.00
  • How to Vet a Financial Advisor - Use Carl Marks & Co., Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like Carl Marks & Co., Inc.'s does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Carl Marks & Co., Inc..
  • Compare firms - put Carl Marks & Co., Inc. next to peers on grade and footprint.

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.